{"id":10021,"date":"2021-05-28T09:27:32","date_gmt":"2021-05-28T13:27:32","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10021"},"modified":"2021-05-28T09:27:32","modified_gmt":"2021-05-28T13:27:32","slug":"sec-files-complaint-against-broker-mark-hopkins-alleging-misappropriation-of-client-funds","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/sec-files-complaint-against-broker-mark-hopkins-alleging-misappropriation-of-client-funds\/","title":{"rendered":"SEC Files Complaint Against Broker Mark Hopkins Alleging Misappropriation of Client Funds"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10022 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/05\/Mark-Hopkins.jpg\" alt=\"Mark Hopkins (Mark Lewton Hopkins CRD#: 2653473) is a former registered broker who was registered with American Portfolios Financial Services, Inc. (CRD# 18487) of Grand Blanc, Michigan from 2009 until he was permitted to resign in 2018.\u00a0 Hopkins worked in the industry since the 1990s. Hopkins also did business under the name Worklife Wealth Management.  Hopkins\u2019 BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA) contains several recent disclosures, including two customer disputes, a regulatory action initiated by FINRA, as well as a Complaint filed by the United States Securities and Exchange Commission (SEC).  Hopkins Was Permitted To Resign From His Position At American Portfolios Financial Services, Inc.  Hopkins\u2019 FINRA BrokerCheck Report reveals that in December 2018, Hopkins was permitted to resign amid allegations that he \u201caccepted customers funds for an investment not on the books of the [broker-dealer] without obtaining pre-approval.\u201d\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/05\/Mark-Hopkins.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/05\/Mark-Hopkins-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Mark Hopkins (Mark Lewton Hopkins CRD#: <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2653473\" target=\"_blank\">2653473<\/a>) is a former registered broker who was registered with American Portfolios Financial Services, Inc. (CRD# 18487) of Grand Blanc, Michigan from 2009 until he was permitted to resign in 2018.\u00a0 Hopkins worked in the industry since the 1990s. Hopkins also did business under the name Worklife Wealth Management. <a href=\"https:\/\/www.silverlaw.com\/blog\/sec-files-complaint-against-broker-mark-hopkins-alleging-misappropriation-of-client-funds\/#more-10021\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Mark Hopkins (Mark Lewton Hopkins CRD#: 2653473) is a former registered broker who was registered with American Portfolios Financial Services, Inc. (CRD# 18487) of Grand Blanc, Michigan from 2009 until he was permitted to resign in 2018.\u00a0 Hopkins worked in the industry since the 1990s. Hopkins also did business under the name Worklife Wealth Management. [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[584,580],"tags":[],"class_list":["post-10021","post","type-post","status-publish","format-standard","hentry","category-selling-away","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>SEC Alleges Mark Hopkins Misappropriated Client Funds<\/title>\n<meta name=\"description\" content=\"Mark Hopkins is a former broker who was registered with American Portfolios Financial Services of Grand Blanc, MI from 2009 until resigning in 2018.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/sec-files-complaint-against-broker-mark-hopkins-alleging-misappropriation-of-client-funds\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"SEC Alleges Mark Hopkins Misappropriated Client Funds\" \/>\n<meta name=\"twitter:description\" content=\"Mark Hopkins is a former broker who was registered with American Portfolios Financial Services of Grand Blanc, MI from 2009 until resigning in 2018.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/05\/Mark-Hopkins.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"SEC Alleges Mark Hopkins Misappropriated Client 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